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Investment Operations Associate
•30 days ago
| Hours | Full-time |
|---|---|
| Location | Auburn, IN Auburn, Indiana |
About this job
Description
Job is located in Auburn, IN.
Operations Associate
Specialty: Account Transfers
Description - The Operations Associate assists the Operations Manager in the critical role in the back-office. It includes day to day back office details for the Wealth Partners and regular communications to the client. The Operations Associate helps ensure that all clients have a wonderful operational experience.
Responsibilities & Activities
Everyday Duties
? Champion of the Transfer system
o Processes all transfers/Rollovers
o Keeps the new business product log updated with transfers and new clients
o Purchases new annuities or 1035 exchanges on the AOE system
o Follows/Updates the transfer system
o Assigns Id Status for new clients based upon set guidelines
o Changes Id Status when applicable
o Starts the new client system
o Conducts Implementation Meetings
o Completes and Processes all client account paperwork
o Follows up and tracks all paperwork with appropriate parties
o Composing operations letters & requests paperwork
o Completes the EBTR when applicable and performs all functions to remain in compliance with new account procedures.
o Ensures compliance with AML and Patriotic Act on all applications
o Handles miscellaneous operational activities
o Keeping new account files organized
o Nicknames clients LPL accounts
o Creates households within branch net to group statements
? Maintains written systems of all their activities on the Productivity Management System
? Writes down 6 Most Important and prioritizes them each day before leaving the office
? Vendor Support functions
o Supports Paraplanner with updating Vendor & Home Office Contact List
o Ordering applications from external vendors if not available online
o Ordering forms from home office
o
? Branch Net Notifications (coordinate with Operations Manager)
? Oversees Client Knowledge System
Requirements
Marketing
? Updates Website
? Proof reads weekly TEST email newsletter
? Coordinates new rollouts on website
Trading
? Maintains Series 7& 66 licenses
? Makes trades when needed
Job is located in Auburn, IN.
Operations Associate
Specialty: Account Transfers
Description - The Operations Associate assists the Operations Manager in the critical role in the back-office. It includes day to day back office details for the Wealth Partners and regular communications to the client. The Operations Associate helps ensure that all clients have a wonderful operational experience.
Responsibilities & Activities
Everyday Duties
? Champion of the Transfer system
o Processes all transfers/Rollovers
o Keeps the new business product log updated with transfers and new clients
o Purchases new annuities or 1035 exchanges on the AOE system
o Follows/Updates the transfer system
o Assigns Id Status for new clients based upon set guidelines
o Changes Id Status when applicable
o Starts the new client system
o Conducts Implementation Meetings
o Completes and Processes all client account paperwork
o Follows up and tracks all paperwork with appropriate parties
o Composing operations letters & requests paperwork
o Completes the EBTR when applicable and performs all functions to remain in compliance with new account procedures.
o Ensures compliance with AML and Patriotic Act on all applications
o Handles miscellaneous operational activities
o Keeping new account files organized
o Nicknames clients LPL accounts
o Creates households within branch net to group statements
? Maintains written systems of all their activities on the Productivity Management System
? Writes down 6 Most Important and prioritizes them each day before leaving the office
? Vendor Support functions
o Supports Paraplanner with updating Vendor & Home Office Contact List
o Ordering applications from external vendors if not available online
o Ordering forms from home office
o
? Branch Net Notifications (coordinate with Operations Manager)
? Oversees Client Knowledge System
Requirements
Marketing
? Updates Website
? Proof reads weekly TEST email newsletter
? Coordinates new rollouts on website
Trading
? Maintains Series 7& 66 licenses
? Makes trades when needed
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